Risk Management in Law Enforcement Discussions on identifying and mitigating risk for officers, departments, and the public

This project was supported, in whole or in part, by cooperative agreement number 2016-CK-WX-K028 awarded by the U.S. Department of Justice, Office of Community Oriented Policing Services. The opinions contained herein are those of the author(s) or contributor(s) and do not necessarily represent the official position or policies of the U.S. Department of Justice. References to specific individuals, agencies, companies, products, or services should not be considered an endorsement by the author(s) or the U.S. Department of Justice. Rather, the references are illustrations to supplement discussion of the issues.

The internet references cited in this publication were valid as of the date of publication. Given that URLs and websites are in constant flux, neither the author(s) nor the COPS Office can vouch for their current validity.

The U.S. Department of Justice reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use and to authorize others to use this resource for Federal Government purposes. This resource may be freely distributed and used for noncommercial and educational purposes only.

Recommended citation: Copple, Colleen K., and James E. Copple. 2018. Risk Management in Law Enforcement: Discussions on Identifying and Mitigating Risk for Officers, Departments, and the Public. Washington, DC: Office of Community Oriented Policing Services.

Published 2018

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Contents

Letter from the Director iii

Introduction 1

Risk Management and Law Enforcement 3

About risk management in law enforcement 3

Why law enforcement should care about risk management 4

Who are risk management stakeholders 7

Components of risk management 8

Risk Identification and Analysis 9

Risk identification 9

Importance of data to understand and analyze levels of risk 9

Risk Mitigation Strategies 15

Leadership and culture 15

Accreditation of law enforcement agencies 17

Certification and decertification of officers 20

Recruiting and hiring the right people 22

Proper use and implementation of model policies 23

Enhanced training 26

Developing appropriate systems of supervision and review 27

Sentinel event reviews and early warning systems 28

Police-community relations 31

Use of force 32

Officer safety and wellness 33

Tools for Shared Risk Management 37

Reducing silos 37

Use of incentives and disincentives 38

Risk reviews 39

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……………………………………………………………………………………Roles and Responsibilities in Reducing Risk 41

Local governments (municipalities, cities, and counties) 41

Risk managers and insurers 41

Law enforcement agencies 42

Police labor unions 43

Community 43

Appendix A. Summary of Recommendations 45

Appendix B. Selected Resources for Risk Management 49

Appendix C. Forum Participants 59

About the Authors 61

About SAI 62

About the COPS Office 63

Risk Management in Law Enforcement: Discussions on Identifying and Mitigating Risk for Officers, Departments, and the Public

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Letter from the Director

Colleagues:

Lawsuits filed against law enforcement agencies can not only cost millions of dollars but also undermine departmental morale, negatively impact the lives of their officers, and damage community-police relations. Consequently, risk management has become a critical component of budget planning and decision-making for many agencies, local governments, and taxpayers.

The COPS Office convened a forum to discuss risk management in law enforcement. Designed to help facilitate information sharing between risk management stakeholders—the community, law enforcement executives, labor unions, local government, professional risk managers, and insurance agencies—the forum enabled participants to learn about and share ways to reduce risk while also increasing efficiency and improving service delivery.

This report, which summarizes the group’s discussions, covers all aspects of this critical subject, including departmental leadership’s role, hiring policies, agency culture, training, and police-community relations. Readers will also find guidance on sharing risk management, with a description of the roles and responsibilities of government, risk managers, insurers, unions, and the community in this effort.

On behalf of the COPS Office, I thank our vendor, Strategic Applications International, for its work in managing the forum and developing this report—which can be of great value not only in helping agencies think about how to mitigate risk but also in enhancing policies and procedures in various areas including recruitment, training, and officer safety and wellness.

Lawsuits can cost a city and its taxpayers millions of dollars and undermine support for their local law enforcement agencies. As this report points out, just one claim in a small jurisdiction could devastate not only the local budget but also public trust. The information contained in the following pages can help agencies better plan to minimize the risk of that happening while also improving community relations, officer morale, and operational excellence.

Sincerely,

Phil Keith Director Office of Community Policing Services

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iv Risk Management in Law Enforcement: Discussions on Identifying and Mitigating Risk for Officers, Departments, and the Public

Introduction

For many law enforcement agencies, risk management is a practice that seeks to identify and mitigate risk for both officers and the public. At stake is the well-being of officers and the public, as well as the integrity of the institutions that protect and serve a community. Law enforcement agencies, in the course of executing their duties, are often liable for any form of misconduct, harm, or violation of rights done to the community. Cities, counties, and municipalities also assume risk as the fiduciary agents of law enforcement agencies for injuries, for failure to execute duties in a responsible and legal manner, or for violation of an officer’s rights or safety.

Risk management is a critical component of budget planning in most medium-sized and large law enforcement organizations. Managing risk requires departments to engage in actuarial predictions that affect budgets and budget planning. Failure to account for civil liability events such as officer misconduct or mishandling of public protests can cost a city or the taxpayers millions of dollars. Every city, town, and municipality is vulnerable to risks associated with providing law enforcement services. One claim in a small jurisdiction could devastate not only the local budget but also public trust.

To stimulate dialogue about risk management partnerships and collaboration, the Office of Community Oriented Policing Services, in partnership with Strategic Applications International, convened a forum on December 7, 2016. Attendees included representatives from law enforcement agencies and local governments as well as risk management leaders at the local, state, and national levels. (For the complete list of forum participants, see appendix C.) This report is a summary of the facilitated discussion, preforum interviews with participants, and a literature review.

F r o m a r i s k m a n a g e m e n t p e r s p e c t i v e , t h e o b v i o u s r i s k i s a s s o c i a t e d

w i t h f a i l u r e t o m a i n t a i n p u b l i c s a f e t y . T h e t h i n g s t h a t I w o r r y a b o u t

i n t e r m s o f o u r p o l i c e f o r c e a r e : f i r s t o f a l l , t h e p e o p l e i n v o l v e d —

t h e o f f i c e r s a n d t h e d e p a r t m e n t — w h e t h e r o r n o t t h e y a r e s a f e ;

w h e t h e r o r n o t t h e y a r e i n j u r e d o r m a d e i l l b y t h e w o r k t h e y d o ;

a n d i f t h e y a r e i n j u r e d o n t h e j o b , h o w c a n w e g e t t h e m b a c k

h e a l t h y a g a i n . W e a l s o w o r r y a b o u t t h e l o n g – t e r m i m p a c t s o f t h e

c a r e e r o n f o l k s . S o t h o s e a r e s o m e o f t h e t h i n g s t h a t w e t h i n k

a b o u t i n t e r m s o f t h e p o l i c i n g s i d e o f t h e e q u a t i o n .

W e a l s o h a v e a c o n c e r n a b o u t p o l i c e a c t i o n s o n m e m b e r s o f t h e

c o m m u n i t y . W e h a n d l e c a s e s w h e r e a w a r r a n t s a i d y o u ’ r e g o i n g t o

4 2 2 7 , a n d y o u g o t o 4 2 7 2 a n d k n o c k i n t h e d o o r . W e h a n d l e c l a i m s

l i k e t h a t w h e r e t h e r e h a s b e e n a n e r r o r , a n d p e o p l e h a v e b e e n

a f f e c t e d . W e h a v e a c c i d e n t s w i t h p o l i c e f o r c e s d r i v i n g m i l l i o n s o f

m i l e s p e r y e a r . W e h a v e c l a i m s a b o u t o f f i c e r c o n d u c t . T h o s e a r e

s o m e o f t h e l i a b i l i t i e s a s s o c i a t e d w i t h p o l i c e o p e r a t i o n s t h a t w e t r y

t o a d d r e s s t h r o u g h r i s k m a n a g e m e n t .

— B a r r y S c o t t , R i s k M a n a g e r , C i t y o f P h i l a d e l p h i a

Risk Management in Law Enforcement: Discussions on Identifying and Mitigating Risk for Officers, Departments, and the Public

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Risk Management and Law Enforcement

About risk management in law enforcement

The International Organization for Standardization (ISO) defines risk as “the effect of uncertainty on objectives”1 and risk management as “coordinated activities to direct and control an organization with regard to risk.”2 In other words, risk management involves first identifying, assessing, and prioritizing risks and then applying resources in a coordinated and economical way. This method helps organizations to minimize, monitor, and control the probability of unfortunate events or their effects.3

In addition to the fact that risk management is complex, law enforcement agencies often have unique risk management needs because of their relationship with and the role of their local government. For many law enforcement agencies, risk management efforts focus on identifying and preventing risk for officers. In contrast, local governments often act as the fiduciary agent for their law enforcement agency and need to have a more comprehensive approach to risk management that includes the safety and well-being not only of officers but also of the communities they serve as well as the financial liability of the local government and the taxpayer.

Jack Ryan, an attorney and instructor with the Public Agency Training Council, identified 12 high-risk critical tasks that impact law enforcement operations:4

1. Use of force

2. Pursuit and emergency vehicle operations

3. Search and seizure including arrest

4. Care, custody, and control of prisoners

5. Domestic violence

6. Property and evidence

1. “Risk Management – Principle Guidelines,” ISO 31000 § 2.1 (2009), https://www.iso.org/obp/ui/#iso:std:iso:31000:ed-1:v1:en. 2. “Risk Management – Principle Guidelines,” ISO 31000 § 2.2 (2009), https://www.iso.org/obp/ui/#iso:std:iso:31000:ed-1:v1:en. 3. Douglas W. Hubbard, The Failure of Risk Management: Why It's Broken and How to Fix It (Hoboken, NJ: Wiley & Sons, 2009), 46. 4. Jack Ryan, The Law and Best Practices of Successful Police Operations: 12 High Risk Critical Tasks That Impact Law Enforcement Operations and Create Exposure to Liability Litigation (Indianapolis: Public Agency Training Council, 2007).

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7. Off-duty conduct

8. Sexual harassment or misconduct

9. Selection and hiring

10. Internal investigations

11. Special operations

12. Dealing with people who have mental illnesses or emotional disturbances

L a w e n f o r c e m e n t a g e n c i e s o f t e n h a v e u n i q u e r i s k m a n a g e m e n t n e e d s b e c a u s e o f t h e i r r e l a t i o n –

s h i p w i t h a n d t h e r o l e o f t h e i r l o c a l g o v e r n m e n t .

Liability comes in the form of (1) lawsuits or claims against officers, law enforcement agencies, and cities or counties for police actions such as wrongful death, excessive force complaints, illegal searches, and civil rights complaints, (2) injury or harm to officers, including violations of their rights and officer safety and wellness, and (3) damage to the trust and legitimacy between law enforcement agencies and the communities they serve. All three areas are concerns of risk managers, law enforcement agencies, cities, counties, communities, and taxpayers.

Why law enforcement should care about risk management Desire to uphold the law

The National League of Cities—whose membership comprises approximately 1,600 cities, towns, and villages as well as 18,000 communities5—considers local governments6 to be the foundation of governance in the United States and believes in “anticipating the needs of communities and developing strategies to meet those needs.”7 Local governments exist to protect and serve the public by upholding laws to ensure the constitutional and civil rights of every individual in any given town, city, county, or state.

5. “History,” About NLC, National League of Cities, accessed April 11, 2018, https://www.nlc.org/about-nlc/history. 6. For the purpose of this report, local governments means towns, cities, and counties. 7. “NLC Goals and Beliefs,” About NLC, National League of Cities, accessed May 31, 2017, http://nlc.org/about- nlc/nlc-goals-and-beliefs.

Risk Management in Law Enforcement: Discussions on Identifying and Mitigating Risk for Officers, Departments, and the Public

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L a w e n f o r c e m e n t s h o u l d n o t p u t t h e p u b l i c m o r e a t r i s k ; r a t h e r , i t s a c t i o n s s h o u l d r e f l e c t a

s t a n d a r d o f p r o f e s s i o n a l i s m a n d s k i l l t h a t e n s u r e s e q u a l p r o t e c t i o n a n d e q u a l t r e a t m e n t u n d e r t h e l a w .

Likewise, law enforcement should not put the public more at risk; rather, its actions should reflect a standard of professionalism and skill that ensures equal protection and equal treatment under the law. Although the Supreme Court ruled in 2005 that there is no constitutional duty for police to protect their constituency from harm,8 the International Association of Chiefs of Police (IACP) recommends that every law enforcement agency should adopt and adapt an oath of honor to their own circumstances. The IACP’S Law Enforcement Oath of Honor reads, “On my honor, I will never betray my badge, my integrity, my character, or the public trust. I will always have the courage to hold myself and others accountable for our actions. I will always uphold the constitution, my community, and the agency I serve.” 9

The public entrusts law enforcement officers to carry and use lethal weapons with skill, discretion, and wisdom. That trust also demands that local governments and law enforcement agencies, from executive leadership to rank and file, take responsibility for ensuring that the necessary policies, procedures, training, hiring, accreditation, review, supervision, and support are in place and consistently applied.

But the responsibility for ensuring public safety does not rest solely with law enforcement agencies and local governments. Mayors, city and county managers and administrators, internal and external risk managers, unions, and communities also have a shared role in working closely with law enforcement agencies to recognize, prioritize, and mitigate public safety risks, whether real, potential, or perceived.

8. Linda Greenhouse, “Justices Rule Police Do Not Have a Constitutional Duty to Protect Someone,” The New York Times, June 28, 2005, http://www.nytimes.com/2005/06/28/politics/justices-rule-police-do-not-have-a- constitutional-duty-to-protect.html. 9. “Oath of Honor,” Ethics, International Association of Chiefs of Police, accessed July 11, 2017, http://www.theiacp.org/oathofhonor.

Risk Management and Law Enforcement 5

   Desire to protect those who uphold the law

Law enforcement officers risk their lives every day, not only while executing their assigned duties but  also in the long term because of the physical and emotional health risks associated with their jobs, such  as exhaustion from long shifts, poor eating habits during late‐night shifts, and depression.10 A recent study by the University of Buffalo using a cohort of 2,800 White male officers from the Buffalo (New York) Police Department found that  

White male police officers have an increased risk of dying at an earlier age across various age  categories than does the White male general population. On average, the life expectancy of police officers in [the] sample was significantly lower than that of the U.S. population (mean difference in  life expectancy = 21.9 years [ . . .]). Overall, male police officers had a significantly higher average  probability of death than did males in the general population.11

Moreover, law enforcement’s occupational fatality rate is “three to five times greater than the national  average for the working population.”12

Thus, it is imperative that officers, who risk their lives to protect others, “also be protected against  incapacitating physical, mental, and emotional health problems as well as against the hazards of their  job.”13 Local governments, law enforcement organizations, unions, and the officers themselves must  make recognizing and addressing these consequences a priority.

10. Deborah Spence, ed., Improving Law Enforcement Resilience: Lessons and Recommendations, Officer Safety and Wellness Group Meeting Summary (Washington, DC: Office of Community Oriented Policing Services, 2017),  https://ric‐zai‐inc.com/Publications/cops‐p362‐pub.pdf; Julia Hill, et al., Making Officer Safety and Wellness  Priority One: A Guide to Educational Campaigns (Washington, DC: Office of Community Oriented Policing Services,  2014), https://ric‐zai‐inc.com/Publications/cops‐p300‐pub.pdf. 11. John M. Violanti et al., “Life Expectancy in Police Officers: A Comparison with the U.S. General Population,” International Journal of Emergency Mental Health 15, no. 4 (2013): 217–228,  https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4734369/.  12. “National Officer Safety and Wellness Group,” Office of Community Oriented Policing Services, accessed  October 22, 2018, https://cops.usdoj.gov/oswg.  13. “National Officer Safety and Wellness Group,” (see note 12).  

   Fiduciary responsibility to taxpayers

Liability claims against law enforcement officers, their agencies, and local governments can cost millions  of dollars a year, which depletes law enforcement and local government budgets. From large cities to  small towns, the cost of claims comes from local taxpayers. For example, in FY 2015 New York City paid  $202.6 million to settle claims brought against the New York City Police Department, substantially more  than the $154.1 million paid in the previous fiscal year.14

14. Bob Hennelly, “NYPD Payouts Up, but New Lawsuits Down,” City & State New York, March 7, 2016,  http://cityandstateny.com/articles/politics/new‐york‐city/nypd‐payouts‐up,‐but‐new‐lawsuits‐ down.html#.WNKZvRiZOu4.

Risk Management in Law Enforcement: Discussions on Identifying and Mitigating Risk   for Officers, Departments, and the Public

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